GUIDE FOR PROPOSERS
PART 1
2nd EDITION, DEC 1999 A_PG1_EN_200001.doc
Foreword
The Guide for Proposers is part of the information necessary to make a
proposal for a programme under the Fifth Framework Programme. It will help
you to locate the programme which is of interest to you and will provide
the necessary guidance on how to submit a proposal and the forms for
proposal submission. It is divided into two main parts and four sections.
PART 1
Section I describes the overall priorities, goals and structures of the Fifth Framework Programme.
Section II describes the priorities and objectives of the Specific
Programme on Quality of Life and Management of Living Resources.
Section III outlines the main rules which define who may participate in the Fifth Framework Programme, and the general conditions for this participation.
PART 2
Section IV provides detailed information for each CALL FOR PROPOSALS for the programme Quality of Life and Management of Living Resources, as well as proposal submission forms.
The additional documents you will need to prepare a proposal are :
The Work Programme for the Specific Programme you are applying for. The
Work Programme provides the description of the content of the ‘action
lines’ or ‘research objectives’, which are open for proposals, and an
indicative timetable for programme implementation (“roadmap”).
The Call for Proposals as published in the Official Journal of the European
Communities. This will tell you which action lines are open for proposals
and what the deadline for the proposal submission is.
The Evaluation Manual (as well as programme specific guidelines that may be
included in Part 2 of this Guide). These documents will provide details of
which criteria will be used in the evaluation of proposals, which weight is
attributed to each of the criteria and where appropriate the threshold to
be attained in order to be retained. You can use the evaluation manual and
the guidelines as a checklist for the completeness of your proposal.
The Guide for Proposers, including the proposal submissions forms, is
together with the Work Programme, the Call for Proposals and the Evaluation
Manual the Information Package for a Call. This Guide for Proposers also
contains references to other documents, reports, forms and software tools
which are of assistance in the preparation of proposals. They are available
on CORDIS: http://www.cordis.lu.
This Guide for Proposers does not supersede the rules and conditions laid out, in particular, in Council and Parliament Decisions relevant to the Fifth Framework Programme, the various Specific Programmes nor the Calls for Proposals in these Programmes.
Contents – PART 1
Foreword 2
PART 1 3
I. The Fifth Framework Programme 3 I.1. Objectives 3 I.2. Structure and contents 3 I.3. Implementation 4
Box 1 - Bursaries for young researchers from Developing Countries 6
Box 2 - The System of Marie Curie Fellowships 7
II. The Specific Programme: Quality of Life and Management of Living
Resources 8 II.1. Programme objectives 8 II.2. Programme strategy 8 II.3. Programme structure and contents 8 II.4. Synergies with other programmes 10 II.5. Implementation of the programme 10 II.6. References 11
III. Participation in activities in the Fifth Framework Programme 12 III.1. The participants 12 III.2. Proposal submission 12 III.3. Proposal evaluation 13 III.4. Proposal selection 14 III.5. The contract 14 III.6. Project follow-up 15 III.7. Financial contribution of the Community 16 III.8. Assistance available to proposers 16
Box 3 - Co-operation with non-EU Countries and International
Organisations 18
Box 4 - Participation from non-EU countries in FP5 19
Box 5 - Main milestones of the selection process 20
BOX 6 - Indicative Typology of Contracts 21
Box 7 - Methods for the calculation of EC funding 22
BOX 8 - Intellectual Property Rights 23
Box 9 - Key recommendations 24
Notes - PART 1 25
2nd EDITION, DEC 1999 A_PG1_EN_200001.doc
This second edition introduces no substantial changes concerning the
information given to proposers in the March 1999 edition. Improvements are
the results of experience with the use of the March 1999 edition.
PART 1
I. The Fifth Framework Programme[i]
I.1. Objectives
The Fifth Framework Programme, adopted on 22nd December 1998, defines the
Community activities in the field of research, technological development
and demonstration (hereafter referred to as “RTD”) for the period 1998-
2002.
The Fifth Framework Programme differs from its predecessors. It has been
conceived to help solve problems and to respond to major socio-economic
challenges facing the European Union. It focuses on a limited number of
objectives and areas combining technological, industrial, economic, social
and cultural aspects.
Priorities have been chosen according to three basic principles which will
apply for all levels: the Framework Programme as a whole, the Specific
Programmes implementing it and the RTD activities covered by those
programmes.
European “value added” and the subsidiarity principle, for example, to
reach a critical mass or contribute to solving problems of a European
dimension,
Social objectives, such as quality of life, employment or protection of the
environment in order to meet the expectations and concerns of the Union’s
citizens,
3. Economic development and scientific and technological prospects in order to contribute to the harmonious and sustainable development of the
European Union as a whole.
I.2. Structure and contents
The Fifth Framework Programme consists of seven Specific Programmes, of
which four are Thematic Programmes and three are Horizontal Programmes.
The Thematic Programmes are :
4. Quality of life and management of living resources
5. User-friendly information society
6. Competitive and sustainable growth
7. Energy, environment and sustainable development.
In line with the provisions set out in the EC Treaty, the widely ranging
Horizontal Programmes underpin and complement these Thematic Programmes.
The Horizontal Programmes are:
8. Confirming the international role of Community research
9. Promotion of innovation and encouragement of participation of small and medium-sized enterprises (SMEs)
10. Improving human research potential and the socio-economic knowledge base.
One essential new characteristic of the Fifth Framework Programme is the
integrated, problem-solving approach. Integration is strengthened at three
levels: > By the key action concept in the Thematic Programmes. Key actions are major innovations of the Fifth Framework Programme. They will enable the many and varied aspects of the economic and social issues to be targeted, by integrating the entire spectrum of activities and disciplines needed to achieve the objectives.
1. By integration between Horizontal and Thematic Programmes objectives.
International co-operation
Participation by entities of third countries and international organisations will be possible in all Programmes in addition to opportunities for participating in the Horizontal Programme “Confirming the international role of Community research”. Conditions for participation, including possible financial arrangements, are specified in section III of this document. Box 1 describes the opportunities for bursaries for young researchers from developing countries.
Innovation and participation of SMEs
Measures encouraging SME participation in RTD activities will be carried out in all Thematic Programmes and the Innovation and SME programme.
Details on SME stimulation measures will be found in a special information brochure devoted to them. In addition, each Thematic
Programme will interface with the Horizontal Programme “Promotion of innovation and encouragement of SME participation” in order to develop awareness and help technology transfer and use of the results of the
Thematic Programme.
Socio-economic and training aspects
Socio-economic research can be funded by both the Thematic Programmes and by the key action on “Improving the socio-economic knowledge base” of the Horizontal Programme “Improving the human research potential and the socio-economic knowledge base”. Socio-economic research is present in the Thematic Programmes as an integral part of the technological research activities. Training opportunities for researchers are assured through the Marie Curie system of fellowships that can be implemented by
Thematic Programmes as well as by other specific training activities in the Human Potential Programme. The fellowships system is described schematically in Box 2.
By integration between Thematic Programmes. Complementary and synergistic
interactions will be ensured in implementing the Programmes.
I.3. Implementation
I.3.1. Work Programme
A Work Programme has been drawn up for each Specific Programme, describing
the specific activities and the various research areas. The Work Programme
will be revised regularly with the assistance of Advisory Groups of
independent experts to ensure its continued relevance in the light of
evolving needs and developments. Potential proposers should therefore
ensure they are consulting the current version of the work programme when
planning a proposal. The Work Programme appearing at the Specific Programme
Web site is always the current version.
The Work Programme includes an indicative timetable or “roadmap”, which
indicates which parts of the Work Programme will be opened, by calls for
proposals, and deadline(s) involved. This provides a means of focusing
attention on areas or sub-areas, thereby optimising opportunities for
launching collaborative projects and establishing thematic networks.
The Commission will manage the Specific Programmes to ensure that links in
thematic content between the programmes are exploited in a synergistic way.
This may occasionally require joint or synchronised calls for proposals.
Where necessary, co-ordination measures such as these will be indicated in
the announcement of the calls for proposals, and in the Work Programme.
I.3.2. Types of actions supported
The Community will contribute financially to the RTD[ii] activities,
carried out under the Specific Programmes implemented within the Fifth
Framework Programme. The general rules[iii] are as follows:
(a) Shared-cost actions
Research and technological development (R&D) projects[iv] – projects
obtaining new knowledge intended to develop or improve products, processes
or services and/or to meet the needs of Community policies (financial
participation: 50 % of total eligible costs4,[v]).
Demonstration projects4 – projects designed to prove the viability of new
technologies offering potential economic advantage but which cannot be
commercialised directly (financial participation: 35 % of total eligible
costs5).
Combined R&D and demonstration projects4– projects combining the above
elements (financial participation: 35 to 50 % of total eligible costs4,5).
Support for access to research infrastructures – (only implemented under
“Improving the human research potential and the socio-economic knowledge
base” – IHP Programme) actions enhancing access to research infrastructures
for Community researchers. Support will cover maximum of 100 % of the
eligible costs necessary for the action.
“SME Co-operative” research projects4 – projects enabling at least three
mutually independent SMEs from at least two Member States or one Member
State and an Associated State to jointly commission research carried out by
a third party (financial participation: 50 % of total eligible project
costs4).
“SME Exploratory” awards – support of 75 % of total eligible costs[vi] for
an exploratory phase of a project of up to 12 months (e.g. feasibility
studies, validation, partner search).
(b) Training fellowships
Marie Curie fellowships are either fellowships, where individual
researchers apply directly to the Commission, or host fellowships, where
institutions apply to host a number of researchers (financial
participation: maximum of 100 % of the additional eligible costs necessary
for the action[vii]). See Box 2.
The decisions on the specific programmes may define specific sub types of
actions for example: the programme “Confirming the international role of
Community research” – INCO 2 - defines bursaries for young researchers from
developing countries and other bursaries for researchers from the EU Member
States or Associated States as specific training fellowships. See Box 1.
(c) Research training networks and thematic networks
- Training networks for promoting training-through-research especially of
researchers at pre-doctoral and at post-doctoral level (these are only
implemented under the IHP Programme) - and thematic networks for bringing
together e.g. manufacturers, users, universities, research centres around a
given S&T objective. These include co-ordination networks between Community
funded projects. Support will cover maximum 100% of eligible costs
necessary for setting up and maintaining such networks.
(d) Concerted actions
Actions co-ordinating RTD projects already in receipt of national funding,
for example to exchange experiences, to reach a critical mass, to
disseminate results etc. (financial participation: maximum of 100 % of the
eligible costs necessary for the action).
(e) Accompanying measures
Actions contributing to the implementation of a Specific Programme or the
preparation of future activities of the programme. They will also seek to
prepare for or to support other indirect RTD actions (financial
participation: maximum of 100 % of total eligible costs).
Each Specific Programme will not necessarily open all the above mentioned
types of actions in all calls. Please refer to sections II and Part 2 of
this Guide to see which actions are called for in the different programmes
and calls.
I.3.3 Clusters
The cluster is a defined group of RTD projects. Its aim is to guarantee
complementarity among projects, to maximise European added value within a
given field and to establish a critical mass of resources at the European
level.
An integrated approach towards research fields and projects financed is
needed to solve complex multidisciplinary problems effectively. The
clusters reflect this problem-solving approach. Indeed, in a cluster
projects are joined together because they complement each other in
addressing major objectives in the context of a key action or a generic
activity (sometimes even across different key actions or specific
programmes). Clusters are expected to optimise scientific networking,
management, co-ordination, monitoring, the exchange of information and, on
voluntary basis, the exploitation and dissemination activities. The cluster
may thus become a natural process to generate European added value,
wherever it makes sense, beyond the limited resources of an isolated
project.
All types of projects can be assembled and integrated within a cluster,
including those funded by different EU RTD activities (key action, generic
activity, infrastructure). By the same token, and as part of an overall
European approach, relevant activities under other research frameworks
(notably EUREKA, COST) could also be taken into account whenever this can
reinforce synergy. Clusters will be set up through thematic networks or
complementary clauses.
I.3.4. Gender equal opportunities
In line with the Commission’s strategic approach of mainstreaming equal
opportunities in all Union policies, particular account is taken in the
Fifth Framework Programme of the need to promote the participation of women
in the fields of research and technological development. Therefore women
are encouraged to participate in proposals for the above mentioned RTD
activities.
Box 1 - Bursaries for young researchers from Developing Countries
When preparing a joint research proposal1 or concerted action proposal for
submission to any of the programmes, a consortium may, if it wishes,
include an application for an international co-operation training bursary2.
These bursaries will be funded from the budget of the Specific Programme
‘Confirming the International Role of Community Research’ and are intended
to allow young researchers from Developing Countries, including Emerging
Economies and Mediterranean Partner Countries3 to work for up to 6 months
in a European research institute participating in a FP-5 project. The
bursaries will be granted for training activities only (e.g. to allow the
applicant to learn a new scientific technique or for work on a particular
experiment or set of experiments where the host institution has particular
expertise and which cannot be performed in the home institution of the
candidate).
The bursary application must be submitted together with the proposal
application and will be evaluated together with it. Spontaneous, individual
bursary applications will not be accepted. Inclusion of a bursary
application will neither enhance nor detract from the chances of success of
the proposal. Only if the whole proposal is selected for funding and the
bursary application is highly rated, will the bursary be granted. A poor
bursary application can be rejected without harming the chances of success
of the proposal.
In order to be eligible, the bursary applicant must not be more than 40
years of age at the time of application, must be a national of one of the
eligible countries3 and be established and working in that country and
intending to return there at the end of the training period. She/he must
also have a good knowledge of a working language of the host institute.
Applications from female researchers are encouraged.
The host institute must be established in an EU Member State or in a State
Associated to FP-54 and must be a member of the consortium proposing the
research project or concerted action.
Eligible bursary applications will be evaluated according to the excellence
of the scientific and/or training objectives of the application, its
potential value to the applicant and his/her institute and to the project
as a whole, as well as the experience and professional training of the
candidate.
The 6 month training period may start at any time up to 12 months from the
Commission signature of the main project contract. A fixed sum will be
granted to cover the cost of one (apex) return fare from the place of
origin of the candidate to the host institute, and a daily allowance for
the duration of the training period (based on the rates for Marie Curie
Fellowships, see the corresponding brochure for applicants).
1 Research and Technological Development projects, Demonstration projects
and Combined projects (see point I.3.2.a)
2 Application forms can be downloaded from the CORDIS web site page
(http://www.cordis.lu/fp5) for the Calls to which you reply, or ordered
from the Programmes’ information desk.
3 Developing countries are: African, Caribbean, Pacific (ACP) countries,
Asian and Latin American (ALA) countries, Mediterranean countries (MC).
4 For the list of Associated States, see box 4.
Box 2 – The System of Marie Curie Fellowships
| |
|As described below, there are two types of application for a Marie Curie|
|Fellowship: individual fellowships, where individual researchers apply |
|to the Commission for a fellowship; and host fellowships, where |
|institutions apply to the Commission to host a number of researchers. |
| |
|Individual Fellowships: |
| |
|Marie Curie Individual Fellowships |
|Fellowships for young researchers at post-doctoral level or equivalent |
| |
|Marie Curie Return Fellowships |
|Fellowships for Marie Curie Fellows, originating from a less-favoured |
|region, to return to a less favoured region of their home country after |
|their initial two year post-doctoral fellowship |
| |
|Marie Curie Experienced Researchers Fellowships |
|Fellowships for experienced researchers: for the transfer of expertise |
|and technology between (i) industry and academia and (ii) towards |
|less-favoured regions of the European Community. |
| |
| |
|Host Fellowships: |
| |
|Stays at Marie Curie Training Sites |
|Giving young researchers pursuing doctoral studies the opportunity to |
|spend part of their studies within an internationally recognised group, |
|in their specialised area of research. |
| |
|Marie Curie Development Host Fellowships |
|Fellowships for institutions located in less-favoured regions, which are|
|active in research and have a need to develop new areas of research |
|competence, to host post-doctoral level researchers in the area of |
|competence required. |
| |
|Marie Curie Industry Host Fellowships |
|Awarded to enterprises, including SMEs, for the training of young |
|researchers, at postgraduate and post-doctoral level, in an industrial |
|or commercial environment. These fellowships particularly aim at |
|providing research training opportunities for young researchers without |
|any previous industrial experience. |
| |
|Further information on the system of Marie Curie Fellowships and |
|application forms may be obtained from its web site |
|(http://www.cordis.lu/improving/home.html) or from the IHP Programme’s |
|information desk. |
II. The Specific Programme: Quality of Life and Management of Living
Resources
II.1. Programme objectives
Economic and political developments in Europe have resulted in greater
prosperity, increased life expectancy and better working conditions. These
improvements have, however, been accompanied by challenges, such as higher
health-care costs, an ageing population, environmental degradation and
heightened ethical concerns. A gap has become increasingly evident between
the availability of natural resources and human activities. Paradoxically,
this has occurred just as there is an "explosion" in the knowledge base
concerning the structure and function of all living things, pointing
towards new developments in, for example, health-care, pharmaceuticals,
agriculture and food.
This programme aims to unlock the resources of the living world and improve
the quality of life. To achieve this, the links between discovery,
production and end-use must be consolidated. The needs of society and the
requirements of the consumer are paramount and research must lead to
quantifiable future wealth and job creation, while respecting the
principles of sustainable development.
II.2. Programme strategy
The strategy of this programme is to focus on specific areas where the
growing knowledge base should provide solutions to some of the pressing
needs of society that need to be tackled on a European scale. Fundamental
ethical values must be respected.
Based on the criteria laid down for selecting the major research themes for
the Fifth Framework Programme, emphasis in this programme will be placed on
the following:
European added value. This will be achieved by addressing specific cross-
border challenges, such as improving health and managing and exploiting
renewable natural resources. Themes such as drug abuse, biosafety,
bioethics and issues related to agriculture, forestry and fisheries should
reinforce the scientific base in support of Community policies. Indeed many
of the activities addressed in the programme, such as genomic research,
neurosciences, infectious diseases, ageing and disabilities sustainable
management and utilisation of forestry resources, fish management and
human, animal and plant diseases, due to their size and complexity, are
more meaningful if they are addressed at the European level.
Social objectives. Research must be developed which promotes health and
quality of life, secures safe and wholesome food, preserves and restores a
healthy environment, stimulates rural and coastal communities, improves
response to consumer needs and facilitates information flow to the
consumer.
Economic development. The huge potential for economic growth and job
creation must be realised, both in the traditional industries, including
primary production and in the rapidly growing high technology industries
dominated by small and medium-size enterprises (SMEs). To contribute
effectively to European competitiveness and employment, results must be
transferred from research into commercially successful products and
processes. Intrinsic to this approach is the effective use of
demonstration, training, dissemination and exploitation of research
results, along with stimulation of innovation and entrepreneurship.
II.3. Programme structure and contents
The programme is primarily built around six specific key actions that are
goal-oriented and problem solving. The key actions are targeted at
identifiable socio-economic and market needs, such as improving quality and
safety of food; controlling infectious diseases; harnessing the power of
the cell; health and environment; sustainable agriculture, forestry and
fisheries, integrated rural development, sustainable development; and
promoting healthy ageing. A unique feature of key actions is their response
to Community policy objectives, in areas like agriculture and fisheries,
industry, consumer protection, environment and health.
In addition, the generic activities of the programme aim to build up
through RTD the knowledge base in identified areas of strategic importance
for the future, in relation to chronic and degenerative diseases, genomes,
neurosciences, public health, persons with disabilities and ethical and
socio-economic issues surrounding the life sciences. Support for research
infrastructures, dissemination and exploitation of results, training and an
increased role for SMEs, and entrepreneurship are also an integral part of
the programme.
The following section represents a short overview of the programme
structure and contents. Detailed objectives and RTD priorities are
specified in the Work Programme. Be sure to consult the current version,
since the Work Programme is revised periodically.
II.3.1. Six key actions
1. Food, Nutrition and Health
To improve the health of European citizens by providing safe, healthy and
varied food products. RTD priorities include the development of safe and
flexible manufacturing processes and technologies, the detection and
elimination of infectious and toxic agents throughout the food chain, and
gaining a more profound understanding of the role of food in promoting and
sustaining health.
2. Control of Infectious Diseases
To combat established, emerging or re-emerging infectious diseases, linked
to old, new or mutated infectious agents in humans or animals. RTD
priorities include vaccine development; strategies to identify and control
infectious diseases; and aspects of public health and care delivery
systems.
3. The "Cell Factory"
To help the Community’s enterprises exploit the advances made in life
sciences and technology, particularly in the fields of health, environment,
agriculture, agro-industries and high value-added products. RTD priorities
include developing innovative health-related processes and products; energy-
efficient bioremediation and waste biotreatment processes; and new
biological processes from cell factories.
4. Environment and Health
To tackle environmentally related health issues. RTD priorities include
diseases and allergies related to or influenced by the environment; risk
assessment and risk management processes to reduce causes and harmful
environmental health effects.
5. Sustainable Agriculture, Fisheries and Forestry, and Integrated
Development of Rural Areas including Mountain Areas
To implement innovative approaches to production and exploitation and to
improve the quality of life, RTD should concentrate on: Competitiveness and
its direct implications for employment in rural and coastal areas,
especially in light of the need to adapt to the evolution of the Common
Agricultural and Fisheries Policies, to the evolving world trade situation
and globalisation of the markets, to E.U. enlargement and to the limited
availability of natural resources; Reduction of the vulnerability of the
relevant sectors through the diversification of production, taking full
advantage of Europe’s proven technological skills to develop new products
and services from natural resources; Response to societal demands for sound
environmental practices, sustainable use of renewable resources and for
products complying with consumer health and environmental requirements.
6. The Ageing Population and Disabilities
To mobilise research (a) in order to enhance the quality of life, autonomy
and social integration of older people with an emphasis on healthy ageing
and well-being in old age and (b) in order to improve quality, efficiency
and user-friendliness of care and welfare provision and to enable older
people to stay in their own homes. RTD priorities include age-related
illnesses and health problems to prevent, treat or delay onset;
determinants of healthy ageing and well-being in old age; demographic and
social policy aspects of population ageing; coping with functional
limitations in old age; health and social care services to older persons.
II.3.2. Research and Technological Development Activities of a Generic
Nature
These activities aim to reinforce the knowledge base in chosen areas of
strategic but generic importance for the Life Sciences related to humans,
animals (both terrestrial and aquatic) and plants. This is in contrast to
the mission oriented problem solving approach in the Key Actions, which
place the emphasis on the linkage between discovery and exploitation.
Projects will be encouraged that promote interaction between basic and
applied research and that involve both the research and health sectors in
order to ensure maximum transfer of knowledge between research and its
users, including industry. The networking of projects will also be promoted
in order to create a critical mass for optimum exploitation of results.
The generic research activities are:
7. Chronic and Degenerative Diseases, Cancer, Diabetes, Cardiovascular
Diseases and rare Diseases
8. Research into Genomes and Diseases of Genetic Origin
9. Neurosciences
10. Public-health and Health-services Research (including drug-related
problems)
11. Research relating to Persons with Disabilities
12. Bioethics
13. Socio-economic Aspects of Life Sciences and Technologies
II.3.3. Support for Research Infrastructures
Within the QoL Programme, the term "research infrastructures" refers to
facilities and resources that provide essential services to the research
community in the life sciences[viii]. The objectives of the Programme in
supporting research infrastructures (in this action line as well as
elsewhere in the Programme where research infrastructures are supported)
are: (i) to encourage the optimum use of Europe's research infrastructures,
notably by fostering transnational cooperation in their rational and cost-
effective use and development and, in conjunction with the QoL system of
Marie Curie Fellowships, by broadening access to these infrastructures
particularly for young researchers; (ii) to improve the European-wide
consistency and complementarity of these infrastructures and their
competitiveness at world level; and (iii) to help improve the quality and
user-orientation of services offered to the European research community.
The role of the Programme’s activities in support for research
infrastructures is to add value at the European level in the context that
the construction and operation of research infrastructures is the
responsibility of national authorities.
This particular action of the QoL Programme will provide support for
research infrastructures in the following fields: biological collections,
biological information resources, clinical research facilities, pre-
clinical research facilities, facilities for aquaculture and fishery
research .
It should be noted that the QoL Programme will not provide support for
tasks that involve the construction and routine operation of research
infrastructures, nor for the collection of data (unless the collection is
an integral component of the research in an infrastructure RTD project).
The cost of activities aimed at stimulating the introduction and use of
trans-European broadband communication networks for research will however
be considered eligible.
II.4. Synergies with other programmes
Interactions with horizontal activities and across programmes are described
in Annex 3 of the Work programme.
II.5. Implementation of the programme
II.5.1 Types of Calls for Proposals
The following types of Calls for proposals are envisaged:
Periodic calls: These will be open for the submission of proposals for RTD
projects and related activities, within a defined scope and with fixed
deadlines, to be specified in the Official Journal of the European
Communities and outlined in the indicative timetable for programme
implementation.
Open calls: Calls for SME specific measures (exploratory awards and co-
operative research), support for Research Infrastructure (thematic
networks, concerted actions and RTD projects), training, international
initiatives and accompanying measures, will be launched at the start of the
programme and remain open until the last year of the Fifth Framework
Programme. Periodic evaluations will be carried out at least twice a year.
Dedicated calls: These will be published in the Official Journal normally
once or twice per year and be limited to a number of very specific topics
and/or activities. The Commission may also publish a request for interested
parties (Expression of Interest /Needs) to suggest ideas for activities
that could be included.
II.5.2 Implementation Modalities (“Types of actions")
The “Quality of Life and Management of Living Resources” programme is
implemented through the following types of actions:
1. Shared-cost actions, excluding “Support for access to research
infrastructures”[ix]
2. Concerted actions
3. Thematic networks
4. Marie Curie Training Fellowships
5. Accompanying measures
6. INCO bursaries
In addition to these types of action, the Quality of Life programme
encourages the submission of “Cluster” proposals, which are essentially a
cluster of sub-projects (“component” projects).
Details of the different types of actions (“implementation modalities”) and
cluster proposals are given in Section IV.2 of Part 2 of this Guide.
The types of actions that will be funded and the research areas covered
will vary from call to call. Please refer to details of the specific calls
published in the Official Journal and Part 2 of the “Guide for Proposers”,
which will give you further, call specific, information, including a
detailed description of the types of actions supported.
II.6. References
|Decision on the Fifth Framework | |http://www.cordis.lu/fp5/src|
|Programme | |/decisions.htm |
|Decision on the “Quality of Life | |http://www.cordis.lu/fp5/src|
|and Management of Resources” | |/decisions.htm |
|Programme | | |
|Quality of Life homepage | |http://www.cordis.lu/life |
|Call text for “Quality of Life and | |http://www.cordis.lu/life/sr|
|Management of Resources” Programme | |c/library.htm |
|Work Programme “Quality of Life and| |http://www.cordis.lu/life/sr|
|Management of Resources” Programme | |c/library.htm |
|Quality of Life Documents | |http://www.cordis.lu/life/sr|
| | |c/library.htm |
|Quality of Life contacts | |http://www.cordis.lu/life/sr|
| | |c/contacts.htm |
|Marie-Curie fellowships homepage | |http://www.cordis.lu/improvi|
| | |ng |
|SME-specific measures homepage | |http://www.cordis.lu/sme |
|INCO-web site (Bursaries, | |http://www.cordis.lu/inco |
|international co-operation) | | |
|Other programme web sites | |http://www.cordis.lu/fp5/ |
|accessible via | | |
III. Participation in activities in the Fifth Framework Programme
This section describes the conditions of participation in activities within
the Fifth Framework Programme, the process whereby the Commission selects
among the proposals submitted to it, and the manner in which selected
projects should be carried out.
It is based on the Annex IV of the decision on the Fifth Framework
Programme[x], the decision on the rules of participation[xi], and other
subsequent texts or documents[xii].
III.1. The participants
III.1.1. Who ?
The Framework Programme, with its corresponding financial support, is open
to all legal entities established in the Member States of the European
Union – e.g. individuals, industrial and commercial firms, universities,
research organisations, etc. including SMEs. The Programme is also open to
all legal entities established in any of the other States associated to the
Programme (see box 4).
Participation and financing for legal entities established in other
countries (‘third countries') is governed by common conditions which are
applied throughout the Fifth Framework Programme (see boxes 3 and 4), with
the exception of the Programme ‘Confirming the international role of
Community research’ under which some entities are entitled to receive
Community funding depending on their country of origin[xiii].
III.1.2. How many?
Proposals submitted to the Commission should demonstrate a Community
dimension. As a general rule, this means that they should involve at least
two legal entities, independent of each other, and established in two
different Member States, or one Member State and one Associated State. (The
Joint Research Centre of the European Commission is considered as a
participant of a Member State).
However, certain actions may vary from this general rule - either by
requiring more participants or by permitting a single one (see box 6).
III.1.3. Role of the participants
Participants in a proposal fall into a number of different legal
categories, according to the type of activity proposed and the nature of a
participant’s role in it (see box 6 and III.5.3.).
III.2. Proposal submission
III.2.1. call for proposals
Calls for Proposals published in the Official Journal will open certain
parts of a Specific Programme’s Work Programmes for proposals, indicating
what types of actions (RTD projects, Accompanying measures etc.) are
expected. In addition to those with a fixed closing date, the Commission
will open certain Calls on a longer ‘open’ basis, with periodic evaluation
of received proposals. A provisional timetable for the Calls of a Specific
Programme is included in each Work Programme.
A Call may address the full programme, a key action, one or several
research themes, areas, sectors, action lines, objectives, topics. In order
to ensure co-ordination among the Specific Programmes, common Calls may be
published. The objectives to be achieved may also be fully detailed, for
example in the case of key actions or dedicated calls[xiv].
Proposals submitted under a Call shall be subject to a selection process
presented in section III.4.
Certain Accompanying Measures may however be based on spontaneous
applications or on a call for tender, and shall therefore be subject to a
different process[xv].
III.2.2. Submission
Participants should complete the appropriate Proposal Submission Form
corresponding to the type of action involved, preferably using the software
tool that the Commission supplies: The Proposal Preparation Tool or
‘ProTool’, available at the following address:
http://www.cordis.lu/fp5/protool.
Proposals must be completed in full as detailed in the Guide for Proposers
Part 2.
In addition, experience in previous Calls shows that a number of general
recommendations, provided in box 9, may be helpful. Participants have the
choice to submit proposals either electronically or on paper.
Submission takes place in the following steps, which are detailed in Part 2
of this Guide.
|The co-ordinator may request a pre-proposal check from |
|the Commission, if this service is offered for the call|
|concerned. |
|The proposer may be required in the Call for Proposals |
|to submit a request for a proposal number. This form |
|(Notification of Intention to Propose) is sent to the |
|Commission services via fax or electronic mail. |
|The requested proposal number is sent back to the |
|proposer by fax or electronic mail from the Commission.|
|The proposal is prepared either in electronic or paper |
|form, preferably using ProTool. |
|The co-ordinator checks the proposal against the key |
|recommendations (Box 9) |
|Electronic submission |Paper submission |
|The submitting partner in |The proposal is sent to the|
|the consortium seeks |Commission in the form of |
|certification for the |five bound paper copies and|
|Programme. |one unbound original. |
|The proposal is submitted |
|electronically following |
|the instructions given with|
|ProTool. |
III.3. Proposal evaluation
III.3.1. General principles
The evaluation of proposals will be based on the fundamental principles of
transparency and equality of treatment. The entire selection process and
the description of the criteria by which the proposals will be evaluated
are presented in the Evaluation Manual (see also box 5 and Appendix 6 of
Part 2 of this Guide).
In general, and in order to help the Commission, panels of independent,
external experts[xvi] will be constituted covering a wide range of relevant
expertise, without linguistic or geographic bias. Proposers’
confidentiality will be fully respected, both to avoid conflicts of
interest and to preserve the impartiality of the independent experts.
III.3.2. Conformity check and eligibility
On receipt, all proposals will be subject to a validation process, to
ensure they conform to the requirements of the Call, of the submission
procedure and of the rules for participation.
Only proposals that conform to these requirements will be subject to
evaluation.
III.3.3. Evaluation
Proposals will be evaluated according to criteria grouped into five
categories, as laid down in the Work Programme applicable to the relevant
call. The content and the respective weighting of the criteria are
described in the Evaluation Manual. Programme specific information on
evaluation may also be explained, if appropriate, in Part 2 of this Guide.
Ethical aspects and safety aspects have to be taken into account in the
process.
The experts examine proposals individually, then meet as a panel to agree a
ranking. At this stage, they may recommend that certain proposals should be
combined into larger projects or linked together as clusters (see section
I.3.3).
Following the evaluation, and according to the interest of Community, the
Commission will establish a list of proposals in order of priority. This
list will take into account the budget available (which has been set out in
the call for proposals) plus, if necessary, a percentage of the call budget
to allow for withdrawal of proposals and/or savings to be made during
contract finalisation. Late or ineligible proposals, those of inadequate
quality or for which there is not adequate budget will be subject to a “non-
retained” decision by the Commission. This information, with the main
reason for non-retention, will be communicated to the proposers concerned.
III.4. Proposal selection
The co-ordinators of proposals, which have been retained, will be notified
in writing. This notification however does not ultimately commit the
Commission to fund the project concerned.
A brief report on the evaluation prepared by the Commission will be sent to
the proposers via the proposal co-ordinator. Further administrative and
financial information will be required to assess the viability of the
proposed project.
Hence, participants will have to demonstrate that they have all the
necessary resources[xvii] needed for carrying out the project. The
Commission will check these, and may seek to safeguard its interest by
asking for a bank guarantee or by other measures.
The Commission may also propose modifications to the original proposal
based on the result of the evaluation, or in terms of grouping or
combination with others.
On successful conclusion of these negotiations, the Commission will then
offer contracts for the commencement of work, based on a timetable
determined by the needs of the Specific Programme concerned.
Any proposal, which is finally not taken up, due to a lack of available
funding for example, will be subject to a “non-retained” decision by the
Commission. This information, with the main reason for non-retention, will
be communicated to the proposers concerned.
III.5. The contract
Contracts are issued to proposals successful in the procedure of selection.
III.5.1. The various types of contracts
Research contracts from the Commission fall into five main groups. They
each have their own detailed conditions, appropriate to the types of action
and the activities to which they refer. (see boxes 6, 7 and 8).
III.5.2. The subject of the contract
The main obligation of the participants is to carry out the project to
completion in a pre-arranged period, and to make use of or disseminate its
results.
In return, the Commission undertakes to contribute financially to the
realisation of the project, normally by reimbursing a certain percentage of
the project costs[xviii].
III.5.3. Rights and obligations of participants
These may vary according to the nature of the action or the category of
participant: . For Research and Technological Development (R&D) projects,
Demonstration projects and Combined projects, a participant who has a wide-ranging role in the project throughout its lifetime is normally a principal contractor. A participant whose role is largely in support of one or several of these principal contractors is termed an assistant contractor. Principal contractors are distinguished from assistant contractors in two main ways:
- all the principal contractors are collectively responsible to the
Commission for the execution of the project and shall use reasonable endeavours to obtain the expected results;
- principal contractors have rights of access to the results of the project and any pre-existing know how. Assistant contractors have limited rights. (see Box 8) . For support for access to research infrastructure, the host infrastructure is a principal contractor[xix], who is responsible for the implementation of the action. . For SME co-operative research projects, SMEs benefiting from the project are principal contractors. Organisations performing the research, named RTD performers, are subcontractors and, as such, are not considered to be "participants"[xx]. . For Exploratory awards, SMEs are principal contractors. For both SME Co-operative research projects and SME Exploratory awards, principal contractors share responsibility and have the same access to intellectual property rights. It should be noted that RTD performers, although they are not considered to be "participants", can have access to the know-how necessary to perform the research, and, in specific cases, to the knowledge resulting from the projects (see Box 8). . Concerted Actions, Research Training Networks and Thematic Networks distinguish between the principal contractor(s)[xxi] who lead the action, and the members who are associated with them. Principal contractor(s)[xxii] sign a membership contract with their members, with the prior agreement of the Commission and in conformity to their own
Commission contract, and share with them joint and several responsibility, in relation to the carrying out of the project.. This distinction does not affect intellectual property rights. . For Accompanying Measures, the participants role shall vary according to the nature of the action (see Box 6). Principal contractors share joint and several responsibility. In Accompanying Measures specific to technology take-up members can participate. . For Fellowships, the Commission’s contract is normally offered to the host institution, which then signs an agreement with the Fellow, conforming to the terms of the Commission’s contract. Exceptionally, in the case of bursaries for Community Researchers (INCO 2), the
Commission contract may be with the individual personally. In general, intellectual property rights shall be addressed in the agreement signed with the individual and according to the national legislation of the host institution.
Participants in an action may conclude between themselves any agreements
necessary to the completion of the work, provided these do not infringe on
their obligations as stated in the contract they sign with the Commission.
III.5.4. The co-ordination of the project
Within a consortium, participants shall designate one of the principal
contractors to carry out the co-ordination function[xxiii].
The co-ordinator is the liaison between the participants and the
Commission, responsible for collecting, integrating and submitting project
deliverables, and for distributing the funds received from the Commission.
The costs incurred by the co-ordinator in the fulfilment of his
responsibilities can be claimed as direct or indirect costs (see boxes 6
and 7).
It should be noted that the successful management of the project is a joint
commitment of all the participants. They may however agree amongst
themselves to confer upon the co-ordinator additional responsibilities,
provided this does not infringe on their obligations as stated in the
contract they sign with the Commission.
III.5.5. Subcontractors
Sub-contractors are not participants in a project. Their function is only
as service providers to a principal contractor, an assistant contractor or
a member, who fully funds their activity. The costs are then reimbursable
by the Commission according to the rules of the contract in force.
Sub-contractors make no financial investment in the project, and they
therefore do not benefit from any intellectual property rights arising from
its achievements (see boxes 6 and 7).
III.6. Project follow-up
In order for the Commission to verify the execution of the contract,
participants are required to submit, via the co-ordinator interim and final
reports as well as reports of costs incurred.
These reports will be analysed by Commission services in the light of the
criteria, which led to the original selection of the proposal This will
ensure the project conforms to the conditions associated with the Community
financial contribution, and that the progress foreseen actually takes
place. The reports are also used to assess whether and in what manner the
project should continue to be supported.
In addition, and conforming to objectives stated in the Fifth Framework
Programme decision concerning the use and dissemination of results, the
Commission will follow-up the implementation of the results of the project.
Therefore participants are in general required to produce a “Technology
Implementation Plan” indicating how the knowledge gained will be used. The
Commission will ensure, where necessary, the confidentiality of these data.
III.7. Financial contribution of the Community
The Commission undertakes a financial contribution to the work.
With the exception of those cases where the Commission's contribution takes
the form of a lump sum payment, the Commission reimburses eligible costs
incurred by participants as the project progresses. Payment is made in
instalments at regular intervals.
III.7.1. Incurred eligible costs
Participants are required to identify and declare their eligible costs by
the submission of interim and final cost statements based on the actual
costs incurred for the execution of the project. Participants must retain
supporting documents, which justify these costs, for at least 5 years from
the end of each payment, to permit auditing by Commission services or other
institutions, e.g. the European Court of Auditors.
The different categories of costs that are eligible for Commission funding
differ according to type of contract (see Boxes 6 and 7).
III.7.2. Calculation methods
A number of different methods are used to calculate the Commission funding,
depending on the type of action involved and on the participant’s capacity
to identify his incurred costs (see boxes 6 and 7).
For Research and Technological Development projects, Demonstration and
Combined Research and Demonstration projects, three calculation methods are
used: full cost actual overhead (FC), full cost flat rate (FF) and
additional cost (AC).
For Accompanying Measures, one calculation method is used for all
participants. The overhead may be calculated as a flat rate of the
personnel costs and in some cases no overheads may be allowed.
For technology take-up measures not all cost categories may be allowable.
For Concerted Actions and Thematic Networks, all participants use the
additional cost model (AC), so overheads are calculated as 20% of all
direct costs (except subcontracting).
Use of permanent staff is allowed for all types of organisations if
accurate time records are kept.
III.7.3. Payment of the contribution
The Community contribution is paid in Euro, in a number of regular
instalments based on cost claims submitted by participants with their
interim and final reports.
The Commission may make advance payments at the beginning of the project,
contingent on verification of the participants’ financial standing. In
certain circumstances the Commission may request financial or other
guarantees to ensure the security of any advance payment made. This is
particularly necessary for those shared-cost actions where the participants
themselves are expected to support part of the cost.
III.8. Assistance available to proposers
The EC carries out a range of activities in support of potential proposers.
These vary as appropriate according to the nature of the Call and the
Specific Programme concerned. Therefore, they are detailed in the Guide
Part 2.
For each programme there is a network of National Contact Points in Member
and Associated States. The National Contact Points can be helpful to
organisations from their country in finding partners from other countries,
and in assisting in procedural or administrative matters. There are a
number of other networks such as Innovation Relay Centres, Euro Info
Centres etc., which potential proposers may also consult.
The European Commission maintains an Infodesk for each programme of the
Fifth Framework Programme for the duration of their Calls. Any questions
concerning the Call not covered in this document nor in the material
available at the programme web site may be directed to the Infodesk, whose
address is included in the Call specific information in the Guide Part 2.
The Infodesk will post any last-minute information concerning the Call on
the programme website, which potential proposers should check periodically
for this reason.
The certification service provider has established an EU-wide support
network for proposers in the national languages. Details are given on the
web page relating to this service (http://www.fp5.csp.org).
The Commission may organise “Info-days”, to disseminate information about
the Fifth Framework or a particular Call, and also to provide an occasion
for proposers to meet potential consortium partners.
The Commission’s CORDIS server in Luxembourg (http://www.cordis.lu/fp5/)
offers a number of services and information sources which may be useful in
particular to support partner search activities. It also contains details
of organisations which have already expressed an interest in participating
to the different programmes under the Fifth Framework Programme.
In addition, the CORDIS website offers targeted information concerning both
implementation modalities of the specific programmes as well as financial
and administrative management aspects.
Box 3 - Co-operation with non-EU Countries and International Organisations
Opportunities for participation in proposal consortia
In planning a RTD proposal for submission to one of the programmes or to
the key action ‘Improving the socio-economic knowledge base’, researchers
should be aware that it is also open to participation by entities from non-
EU countries and to international organisations. The opening falls into
three categories and in all cases, the third country/international
organisation participant must be included as a participant in the original
proposal submitted:
(i) Countries associated to FP-5: For each of these countries, institutions
may participate and be funded, with similar rights and responsibilities to
EU Member State participants, once the Association Agreements come into
force (see box 4).
(ii) Project by project participation: This participation will be on a self-
financing basis and this option is open to all non-associated European
countries, to Mediterranean partner countries, to countries with which the
EU has an S&T Agreement, and to international organisations, as long as the
participation is in conformity with the interest of the Community.
(iii) All other countries: For countries not covered by the above
categories, participation in FP-5 projects on a self-financing basis will
be possible if the participation is in conformity with the interest of the
Community and is of substantial added value for implementing all or part of
the specific programme. The interest of the Community and the substantial
added value must be clearly indicated in the proposal.
The conformity with the interests of the Community will be assessed with
particular regard to the contribution to one or more of the following (as
laid down in Council Decision): the needs of other Community policies in
support of which the RTD actions are carried out; providing appropriate
incentives for maintaining and creating jobs in the Community; promoting
sustainable development and improving the quality of life in the Community;
strengthening the international competitiveness of Community industry; the
existence of S&T co-operation agreements between the Community and third
countries or international organisations.
Substantial added value may refer for example to cases where the third
country participant is a generally recognised, top-level specialist in the
field of the proposal or has access to unique resources which are of great
importance to the project but which are not available in Europe, or where
third country participant offers the prospect of opening new markets for
the European participants.
In exceptional cases, Community financing for the third country participant
or international organisation may be provided by the programme if it is
essential for achieving the objectives of the project1, i.e. if the
contribution of the participant cannot be provided by any other means and
the project cannot be carried out without that participant.
For country groupings, see box 4
1 Additional rules are foreseen in the Specific Programme “Energy,
environment and sustainable development” which provide for financial
support to those entities where their participation is beneficial and
offers added value for achieving the objectives of the Programme.
Box 4 - Participation from non-EU countries in FP5 1
For latest information on entry into force of these agreements, please consult: www.cordis.lu/fp5/src/3rdcountries.htm or contact the Programmes'
Information Desk
| | | |
| |CANDIDATES |BULGARIA, REPUBLIC OF CYPRUS, CZECH |
|Associated | |REPUBLIC, ESTONIA, HUNGARY, LATVIA, |
|States |FOR EU- |LITHUANIA, POLAND, ROMANIA, SLOVAKIA, |
| | |SLOVENIA : in force. |
|may |MEMBERSHIP | |
|participate | |For Malta and Turkey, please see footnote 3 |
|with | |and 4 |
|Community | | |
|funding | | |
| |EFTA-EEA |ICELAND, LIECHTENSTEIN, NORWAY: in force. |
| |OTHERS |ISRAEL : in force. |
| | |SWITZERLAND 2 : entry into force expected on|
| | |the 1.1.2001. |
| |OTHER |ALBANIA, BOSNIA-HERZEGOVINA, FORMER YUGOSLAV|
| |EUROPEAN |REPUBLIC OF MACEDONIA, SWITZERLAND 2 |
|Third States 6| |MALTA 3 and TURKEY 4 are also shown under |
| | |Mediterranean Partnership. |
| | |MICROSTATES AND TERRITORIES IN EUROPE5 |
|may | | |
|participate | | |
| | | |
|without | | |
|Community | | |
|funding | | |
| | | |
|(exceptionally| | |
|with Community| | |
|funding | | |
|when duly | | |
|justified as | | |
|being | | |
|essential for | | |
|achieving the | | |
|objectives | | |
|of the | | |
|project) | | |
| |EUROPEAN |ARMENIA, AZERBAIJAN, BELARUS, GEORGIA, |
| |NIS |MOLDOVA, RUSSIA, UKRAINE. |
| | |ALGERIA, EGYPT, JORDAN, LEBANON, MALTA3, |
| |MEDITERRANEAN|MOROCCO, PALESTINE AUTHORITY, SYRIA, |
| |PARTNERSHIP |TUNISIA, TURKEY4. |
| | | |
| | |All above countries may participate project |
| | |by project if in conformity with the |
| | |interests of the Community and on a self |
| | |financing basis. |
| | |ARGENTINA (1st activity of FP5), AUSTRALIA |
| | |(1st activity of FP5), CANADA (1st activity|
| |COUNTRIES |of FP5), CHINA (1st activity of FP5), SOUTH |
| |WITH |AFRICA (FP5), USA (FP5) : in force. |
| |CO-OPERATION |RUSSIA (1st activity of FP5): |
| |AGREEMENT |Agreement signed. |
| | |The above countries may participate in the |
| | |fields covered by the Co-operation |
| | |Agreement, once in force, and on a self |
| | |financing basis (until then, Russia may |
| | |participate as an European NIS). |
| |ANY OTHER |May participate project by project if in |
| |COUNTRY |conformity with the interests of the |
| | |Community and on a self financing basis, |
| | |only if its participation is also of |
| | |substantial added value for implementing all|
| | |or part of the specific programmes in |
| | |accordance with its objectives.. |
| |INTERNATIONAL|May participate project by project if in |
| |ORGANISATIONS|conformity with the interests of the |
| |7 |Community and on a self financing basis. |
Participation from third States and of International Organisations must
take place together with the minimum number of legal entities from the
Community and any Associated States.
1 Different rules apply for the specific programme ‘Confirming the
international role of Community research’ (except for Associated
States) and the EURATOM Framework Programme
2 According to Swiss authorities, this association agreement could
enter into force on the 1st of January 2001 at the earliest.
Meanwhile, Swiss legal entities shall be considered as those of any
other third European country.
3 An association agreement with Malta is foreseen to be negotiated
in 2000. Should this agreement be concluded, the status of Associated
State shall take precedence over any other. Meanwhile, Maltese
research entities participate to the activities of FP5 as “other
European”. They are also shown under Mediterranean Partnership. For
latest news, www.cordis.lu/fp5/src/3rdcountries.htm.
4 Turkish research entities participate to the activities of FP5 as
“other European”. They are also shown under Mediterranean Partnership.
For latest news, www.cordis.lu/fp5/src/3rdcountries.htm.
5 Andorra, Monaco, San Marino, Vatican City State (Holy See),
Faeroe Islands (DK), Channel Islands (GB), Isle of Man (GB), Svalbard
and Jan Mayen Islands (NO).
6 In the case of a country becoming associated to FP-5, that status
takes precedence over any other
7 Community funding may also be granted if it is foreseen to use
the facilities of an international organisation that are based in a
third country, should this use be essential for achieving the
objectives of the project.
Box 5 - Main milestones of the selection process
BOX 6 – Indicative Typology of Contracts
| | |PARTICIPA| |DIRECT COSTS |INDIRECT COSTS|
| | |NT |CONTRIBUTION | | |
| |Prin|Assi|Memb|Calcu|Percenta|Per|Dura| |Trav|Cons|Comp|Prot|Othe|Co-o|Acc|RTD |Overheads |
| |cipa|stan|er |latio|ge |son|ble |Subc|el |umab|utin|ecti|r |rdin|ess|perf| |
| |l |t | |n |funding |nel|equi|ontr|and |les |g |on |spec|atio| |orme| |
| |Cont|cont| |Metho| | |pmen|acti|subs| | |of |ific|n | |r | |
| |ract|ract| |d * | | |t |ng |iste| | |know|cost|cost| | | |
| |or |or | | | | | | |nce | | |ledg|s |s | | | |
| | | | | | | | | | | | |e | | | | | |
|SHARED COST | | | | | | | | | | | | | | | | | | |
|ACTIONS7 | | | | | | | | | | | | | | | | | | |
|R&D project |min |yes | |FC, |FC, FF: |Yes|yes |yes |yes |yes |yes |yes |yes |yes | | |FC: (actual |
| |2 | | |FF |50% | | | | | | | | | | | |rate)x(personn|
| | | | |and |AC: 100%| | | | | | | | | | | |el) |
| | | | |AC | | | | | | | | | | | | |FF: |
| | | | | | | | | | | | | | | | | |80%x(personnel|
| | | | | | | | | | | | | | | | | |) |
| | | | | | | | | | | | | | | | | |AC: 20%1 |
|Combined project | | | | |FC, FF: | | | | | | | | | | | | |
| | | | | |35 or | | | | | | | | | | | | |
| | | | | |50% | | | | | | | | | | | | |
| | | | | |AC: 100%| | | | | | | | | | | | |
|Demonstration | | | | |FC, FF: | | | | | | | | | | | | |
|project | | | | |35% | | | | | | | | | | | | |
| | | | | |AC: 100%| | | | | | | | | | | | |
|Support for |1 | | |AC |Up to |yes| |yes |yes |yes |yes | |yes | | | |20%1 |
|access to | | | | |100% | | | | | | | | | | | | |
|research | | | | | | | | | | | | | | | | | |
|infrastructures | | | | | | | | | | | | | | | | | |
| | | | | UF |Up to | | | |yes | | | | | |yes| | |
| | | | | |100% | | | | | | | | | | | | |
|SME co-operative |min | | |FC, |50% |yes|yes |yes |yes |yes |yes | |yes | | |yes |(actual |
|(CRAFT) |3 | | |FF | | | | | | | | | | | | |rate)x(personn|
| |SME | | | | | | | | | | | | | | | |el) |
|Exploratory |min | | |Fixed|75%2 | | | | | | | | | | | | |
|awards |2 | | |amoun| | | | | | | | | | | | | |
| |SME | | |t | | | | | | | | | | | | | |
|TRAINING | | | | | | | | | | | | | | | | | |
|FELLOWSHIPS | | | | | | | | | | | | | | | | | |
|Marie Curie Host |inst| |min |Fixed| | | | | | | | | | | | | |
|Fellowships |itut| |1 |amoun| | | | | | | | | | | | | |
| |ion | |fell|t | | | | | | | | | | | | | |
| | | |ow | | | | | | | | | | | | | | |
|Marie Curie | | |1 | | | | | | | | | | | | | | |
|Individual | | |fell| | | | | | | | | | | | | | |
|Fellowships | | |ow | | | | | | | | | | | | | | |
|Developing | | |1 | | | | | | | | | | | | | | |
|countries | | |fell| | | | | | | | | | | | | | |
|Fellowships | | |ow | | | | | | | | | | | | | | |
|Fellowships for |fell| | | | | | | | | | | | | | | | |
|Community |ow | | | | | | | | | | | | | | | | |
|Researchers | | | | | | | | | | | | | | | | | |
|SUPPORT TO | | | | | | | | | | | | | | | | | |
|NETWORK | | | | | | | | | | | | | | | | | |
|Thematic network|min | |yes |AC |Up to |yes| |yes |yes | |yes | |Yes | | | |20%1 |
| |1 | | | |100% | | | | | | | | | | | | |
|Training network |1 | |min.|AC |Up to | | | | | | |Yes | | | | |20%1 |
| | | |4 | |100% | | | | | | | | | | | | |
|CONCERTED ACTIONS|min | |yes |AC |Up to |yes| |yes |yes | |yes | |yes | | | |20%1 |
| |1 | | | |100% | | | | | | | | | | | | |
|ACCOMPANYING | | | | | | | | | | | | | | | | | |
|MEASURES | | | | | | | | | | | | | | | | | |
|Accompanying |min | | | |Up to |yes|yes |yes |yes |yes |yes |Yes |yes |yes | | |yes5 |
|measures 3 |1 | | | |100% | | | | | | | | | | | | |
|Euro conference |1 | | | |Up to |yes| |yes |yes |yes | | |yes4|yes | | |None |
| | | | | |100% | | | | | | | | | | | | |
|Technology |min | |yes | |Up to |yes|yes |yes |yes |yes |yes |yes |yes |yes | | |yes6 |
|Take-up |1 | | | |100% | | | | | | | | | | | | |
* FC = Full Costs/ FF= Full costs Fixed rate/AC= Additional Costs/ UF =
User Fee. For more information, see Box 7.
1 Direct costs, excluding subcontracting costs
2 Up to maximum of €22,500
3 For subsidies, see the Vademecum on grant management and com pv(98) 1395
4 Organisation costs (see specific Guide for Proposers Part 2)
5 Overhead is calculated as a lump sum of the personnel costs (not
exceeding 80%).
6 The eligible cost categories for each of the types of technology take-up
measures are referred to in the relevant Guide for Proposers, Part 2
7 Two alternative contracts are available respectively to the R&D and the
Demonstration. One is the “Deliverables”, by which the contribution is paid
in pre-set amounts and adjusted with the final payment on the basis of
actual costs for the whole contract. The other is the “flat rate” (for
projects estimated less than 100 000 euro) by which the contribution
consists of a fixed amount based on the estimated costs for the work.
Box 7 - Methods for the calculation of EC funding
Full cost (FC)
The participant can identify all the direct and indirect costs related to
the project. He should be able to demonstrate that his accounting system
enables the identification of those costs with sufficient precision. FC =
total direct costs + actual overhead rate.
Full costs Flat rate (FF)
The participant who may participate on a full costs basis or who can
identify his direct costs related to the project (temporary and permanent
staff) but not the indirect costs linked to the project may elect the
overhead to be charged on a flat rate basis, 80 % of the direct personnel
cost.
Additional cost (AC) - in R&D projects
Subject to the specific contract terms, the Commission shall only take into
account the project’s additional (non recurrent) costs. AC = total direct
additional costs + x% overhead on direct costs (excluding subcontracting)
(for x% see Box 6).
Additional cost (AC) - in Concerted Actions/Thematic networks and
Euroconferences
The Community funding shall only cover the direct costs necessary for the
action, however, costs for permanent staff are eligible if time records are
kept. AC = total direct additional costs + x% overhead on direct costs
(excluding subcontracting) (for x% see Box 6).
User Fee (UF)
This system is only used in the context of projects providing access to
research infrastructure. It is based on a "unit cost", which is a fixed
composite rate, for each access. Travel and subsistence costs and a flat
rate contribution for general expenses are added. The participant should be
able to demonstrate that his accounting system enables him to calculate
with sufficient precision the "unit cost". UF = ((unit cost x quantity of
access) + travel and subsistence costs) + 20% overhead.
Costs categories
A cost shall be considered as eligible only where it is necessary for and
during the project and is provided for in the contract. It shall be
reimbursed if the amount has actually been spent and recorded in the
accounts. No profit may be included.
Personnel costs: subject to the contract terms, scientific and technical personnel; time devoted to the project shall be recorded.
Durable equipment: subject to the contract terms, equipment shall be reimbursed according to a depreciation period (for computer equipment that cost less than 25.000 Euro the depreciation period is 36 months, for all other equipment the depreciation period is 60 months) and its use on the project; equipment leased shall be reimbursed without exceeding the eligible cost if it were to be purchased.
Subcontracting: external services.
Travel and subsistence: travel outside the European Union or an
Associated State needs the prior approval of the
Commission, except for visiting a participant.
Consumables: only project specific items.
Computing: only project specific items.
Protection of knowledge: subject to contract terms, only with prior approval of the Commission
Other specific costs any cost necessary for the project, not falling within a defined category and having received the prior approval of the Commission
Co-ordination costs: costs for the financial/administrative administration (personnel, travel and all other cost categories apart from subcontracting) incurred only by the co-ordinator - the financial/administrative co-ordinator in case of split between scientific and administrative co- ordinator - in order to fulfil his tasks.
Access: only for Support for access to research infrastructure; user fee related to visiting scientist.
RTD performer only for SME co-operative research project; cost of research performed by a non-participant.
Overheads: subject to the contract terms, either an actual rate (FC), or a flat rate (FF) calculated on personnel costs or on the direct additional costs (AC) excluding subcontracting, or as a lump sum of personnel costs (Accompanying Measures).
BOX 8 - Intellectual Property Rights
The following table lists the access rights (license on a patent, other
users rights) to knowledge (intellectual property created during the
project) and know-how (pre-existing intellectual property) as a function of
the different types of actions and participants.
| |Knowledge |Pre-existing know-how |
| | |necessary for the |
| | |execution of the project|
| | |or to use its Knowledge |
| |Access |Use* |Access |Use |
| |rights for | |rights for | |
| |the | |the | |
| |execution of| |execution | |
| |the project | |of project | |
|Research |Principal |Royalty-free|Royalty-free |Favourable |Favourable |
|and |Contractor| |(1) to all |conditions |conditions |
|technologi| | |knowledge | | |
|cal | | | | | |
|developmen| | | | | |
|t Project | | | | | |
| |Assistant |Royalty-free|Favourable |Favourable |/ |
| |Contractor|/ Favourable|Conditions/ |Conditions/| |
| |(2) |Conditions |Market |Market | |
| | | |conditions |conditions | |
| | | |(1) | | |
| |Principal |Favourable |Market | | |
| |Contractor|Conditions |conditions | | |
| |of the | | | | |
| |same | | | | |
| |specific | | | | |
| |programme | | | | |
|Demonstrat|Principal |Royalty-free|Favourable |Favourable |Favourable |
|ion |Contractor| |Conditions |conditions |conditions |
|Project | | |for | |for |
| | | |Exploitation | |Exploitation|
| | | |only, to all | |only |
| | | |knowledge | | |
| |Assistant |Royalty-free|Favourable |Favourable |/ |
| |Contractor|/ Favourable|Conditions/ |Conditions/| |
| |(2) |Conditions |Market |Market | |
| | | |conditions |conditions | |
| | | |for | | |
| | | |Exploitation | | |
| | | |only | | |
|Combined |Principal |In general, IPR rules for R&D projects shall be |
|R&D/ |Contractor|applied to R&D workpackages, and IPR rules for |
|Demonstrat| |Demonstration projects to Demonstration |
|ion | |workpackages. |
|Project | |If the identification of the various workpackages is|
| | |impossible, IPR rules for R&D projects shall apply |
| | |if the total EC contribution to the project as a |
| | |whole is superior to 42,5% of its total cost. If the|
| | |figure is equal or inferior to 42,5%, IPR rules for |
| | |Demonstration projects shall then be applied. |
| |Assistant | |
| |Contractor| |
| |(2) | |
|SME |Principal |Co-ownership|Co-ownership |Royalty-fre|Favourable |
|co-operati|Contractor|(3) |(3) |e |Conditions |
|ve |(SME) | |for | |for |
|Research | | |Exploitation | |Exploitation|
|Project | | |only | |only |
| |RTD |Royalty-free| |Royalty-fre| |
| |performer | | |e | |
| |(non- | | | | |
| |participan| | | | |
| |t) | | | | |
|Concerted |Principal |The knowledge which is suitable for dissemination |
|Action |Contractor|will be disseminated |
| |Member | |
|Networks |Principal |The knowledge which is suitable for dissemination |
| |Contractor|will be disseminated |
| |Member | |
|Fellowship|Host |The ownership of knowledge will be determined by the|
|s |Institutio|Host Institution according to the applicable law. |
| |n |The knowledge which is suitable for dissemination |
| | |will be disseminated |
| |Grant | |
| |holder | |
|Accompanyi|Principal |The ownership of knowledge will be determined |
|ng |Contractor|regarding to the Community financing level. As the |
|Measures | |case may be, use or dissemination will prevail. |
| |& in | |
| |particular| |
| |cases | |
| |Members | |
(*) Access rights to knowledge for the purpose of use are limited to
knowledge generated under the project concerned.
(1) Contractors and Assistant Contractors unable to exploit their own
knowledge might grant access rights at reasonable financial or similar
conditions, instead of royalty-free.
(2) More favourable conditions when beneficiary requests access from
its principal contractor or the other assistant contractors of the
latter.
(3) SME Contractors are the owners of all knowledge resulting from the
research work carried out by the RTD performers.
Box 9 - Key recommendations
V Eligible partners: Check first that you and your partners are eligible for participation in the Programme (for example: your organisation must have a registered legal existence, there are minimum consortium conditions etc.) and also that you are eligible for the particular activity involved (some activities may be reserved e.g. for SMEs, organisations in particular sectors of industry….etc.)
V Specific actions and RTD objectives: Check that your proposed work does indeed address an activity included in the current Call. Ineligible proposals, or proposals not addressing activities open in the Call, will be excluded from evaluation.
V Selection criteria: Any proposal evaluated below the thresholds will not be considered for funding.
V Management: Clearly indicate ability for high quality management adapted to the size of the project.
V Content: Good proposals show consistency with the five selection criteria.
V Ethical issues: Clearly describe any potential ethical aspects and applicable regulatory aspects of the research to be carried out and the way they are dealt with according to national regulations.
V Presentation: Good proposals are drafted in a clear and easily understandable way. Good proposals are precise and concise, not “wordy” - evaluators judge on content, not on number of pages.
V Results: Good proposals clearly show the results that will be achieved, and how the participants intend to diffuse or exploit these results.
V Completeness: Proposals must be complete, as they are evaluated only on the basis of the written material submitted. Follow the format of the
Proposal Submission Form. You are highly recommended to use the ProTool software supplied free of charge by the Commission to proposers.
V Partnership: Partners should discuss and agree beforehand their respective roles and responsibilities.
V Contract: Check that the model contract conditions for the type of work that you are proposing are acceptable for your organisations.
V Competition: There will be competition, and a weak element in an otherwise good proposal might make it lose out to others. Therefore edit your proposal tightly, strengthen or eliminate weak elements.
Last but not least:
Arrange for your draft proposal to be evaluated by experienced colleagues
before sending it, using the evaluation criteria described in the
Evaluation Manual and in Appendix 6 (PART 2). Use their advice to improve
it before submission.
Notes – PART 1
-----------------------
[i] On the 22/12/98, the Council also decided on the Fifth Euratom
Framework Programme for research and training (CORDIS :
http://www.cordis.lu/fp5/src/decisions.htm)
The specificity of the latter will be described in a separate information
document.
[ii] It will also carry out research and development activities conducted
by the Joint Research Centre
[iii] In the Decisions adopting the Specific Programmes, there can be no
derogation from the financial participation rates set out here, with the
exception of duly justified special cases
[iv][v] The rates may need to be adjusted in individual cases to comply
with the Community framework for State aid for R&D (O.J. C 45, 17.2.1996)
and with article 8 of the WTO Agreement on subsidies and countervailing
measures (O.J. L 336, 23.12.1994). If the project is supported financially
by a Member State or one of its public bodies, the cumulation rule applies,
according to item 5.12 of the above mentioned Community framework.
[vi] In the special case of legal entities which do not keep analytical
accounts, the additional eligible costs generated as a result of the
research will be financed at the rate of 100 %
[vii] EC funding up to maximum of ¬ 22,500
[viii] In the case of industrial host fellowships, this will normally
approximate to 50 % of the total eligible costs
[ix] Mored detailed informa of €22,500
[x] In the case of industrial host fellowships, this will normally
approximate to 50 % of the total eligible costs
[xi] Mored detailed information on this area are given in an explanatory
note, available from CORDIS at :
http://www.cordis.lu/life/calls/199902.htm#refdocs
[xii] The implementation modality “Support for access to research
infrastructure” should not be confused with “Support for research
infrastructures”, which is part of the programme and supports various
actions. The action “Support for access to research infrastructures” is
supported by the horizontal programme “Improving human potential”.
[xiii] European Parliament and Council Decision N° 1999/182/EC of 22
December 1998 concerning the Fifth Framework Programme of the European
Community for research, technological development and demonstration
activities (1998-2002)
[xiv] Council Decision 1999/65/EC of 22 December 1998 concerning the rules
for the participation of undertakings, research centres and universities
and for the dissemination of research results for the implementation of the
Fifth Framework Programme of the European Community (1998-2002)
[xv] Council Decisions on the specific programmes, Commission Regulation
implementing the Council Decision 1999/65/EC concerning the rules of
participation, Work Programmes of the specific programmes, model contracts,
Evaluation Manual, …
[xvi] See the Work Programme of the Specific Programme “Confirming the
international role of Community research” and its corresponding Guide for
Proposers.
[xvii] Such calls are based on Community need to support certain of its
policies (standardisation, anti-fraud actions…)
[xviii] See Vademecum on grant management and the rules for public
procurement
[xix] Experts shall be selected following a Call for candidates. However,
in exceptional cases, the evaluation process may be conducted without them.
The Commission's services shall however follow the rules set out in the
Evaluation Manual.
[xx] These include human resources, infrastructure, financial resources
and, where appropriate, intangible property.
[xxi] In certain exceptional cases by paying a fixed lump sum.
[xxii] Anywhere where it is possible for easy reading, the word
“contractor” may be used.
[xxiii] Specific rules related to their participation in this type of
action can be found in the ad hoc information brochure devoted to SMEs.
[xxiv] A single contractor is possible in the case of Concerted Actions,
Thematic and Training Networks
[xxv] A single contractor is possible in the case of Concerted Actions,
Thematic and Training Network Actions, where he carries out the co-
ordinator role.
[xxvi] This role may in exceptional cases be carried by two contractors,
with one responsible for the scientific co-ordination, and the other
responsible for financial matters (e.g.: if the scientific co-ordinator is
unable to receive Community funding due to his status, his location, his
uncertain financial standing, or because he is unable to distribute funds
to participants in due time).
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QUALITY OF LIFE AND
MANAGEMENT OF LIVING RESOURCES
THE FIFTH FRAMEWORK PROGRAMME
1998-2002